Chief Compliance Officer (CCO)

職種

• コンプライアンス

• その他コーポレート機能別責任者

• 法務

仕事内容

• Manage advisory compliance and associated control environments and strike the balance between serving as trusted advisor to the business and encouraging a culture of robust challenge to the business. • Review existing compliance policies and procedures and make enhancements to strengthen processes, procedures and policies and stay head of regulatory requirements and expectations under FSA regulations. • Issue spot, analyze, and dimension the complexity of risks and regulations; handling complex issues and engaging directly with regulators. • Interface with senior management to ensure effective awareness of key compliance risk areas and develop and implement mandatory and targeted training on relevant compliance regulations and processes. • Develop, execute and maintain a monitoring and testing plan to ensure that controls are operating as intended and prepare regular reporting on compliance activities. • Conduct and administer MIM Japan Board meetings and shareholder meetings. • Review of marketing materials, pitch books and assist in client on boarding. • Knowledge of local AML rules and regulations. • Prepare and file required documentation for the FSA or other relevant external authorities on a routine and ad-hoc basis. • Oversee day-to-day administration of several key controls including portfolio guideline monitoring, restricted issuer list, gifts and entertainment reporting, personal trading, authorized trader lists, OFAC and local sanctions programs, regulatory reporting, marketing material review, and ethical walls. • Stay abreast of changes in the regulatory environment and analyze the business impact of regulatory changes. • Work collaboratively with business partners and senior leaders including those in IT, Legal Affairs, Corporate Licensing, and Internal Audit. • Advise on and provide credible challenge to compliance with relevant laws, regulations, and compliance policies. • Provide meaningful compliance reporting to senior management

求める能力・経験

• 15+ years relevant and suitable Compliance experience gain with an FSA registered investment management firm • Extensive knowledge of rules and regulations applicable to MIM Japan’s investment activities in Japan • Demonstrated ability to assess risk and communicate results to board level senior management. • Demonstrated ability to analyze risks and controls, determining when controls are not operating effectively and act accordingly. • Excellent oral communication skills, including ability to communicate with all levels of management.

語学

英語でビジネス会話が可能

学歴

4年制大学、大学院（MBA/MOT）、大学院（その他専門職）、大学院（修士）、大学院（法科）、大学院（博士）

雇用形態

給与

1,500万円〜2,300万円

勤務時間

休日・休暇

内訳：土曜 日曜 祝日

社会保険

健康保険 厚生年金 雇用保険 労災保険

備考

配属先

転勤

住所

東京都港区

制度

その他

制度備考